Last updated: June 21, 2026
Entity Information
Client Classification
Hollings Worth provides services exclusively to Professional Clients and Eligible Counterparties as defined under MiFID II (Directive 2014/65/EU) and the corresponding FCA rules. We do not provide services to Retail Clients. If you believe you have been incorrectly classified, please contact your relationship manager.
Under DFSA rules, Hollings Worth (DIFC) Limited provides services to Professional Clients and Market Counterparties only. Under FINMA regulations, services are provided to institutional and professional investors as defined under CISA and FIDLEG.
Conflicts of Interest
Hollings Worth maintains a comprehensive conflicts of interest policy in compliance with MiFID II Article 23, FINMA Circular 2023/1, and DFSA COB Module. A summary of our conflicts of interest policy is available upon request.
Key conflict management arrangements include:
- Information barriers maintained between quantitative research and institutional execution teams
- Personal account dealing restrictions requiring pre-clearance
- Prohibition on receipt of third-party inducements other than minor non-monetary benefits
- Independent compliance oversight with direct Board reporting line
- Annual conflicts review by external counsel
Best Execution Policy
In accordance with MiFID II RTS 27 and RTS 28 requirements and FCA COBS 11.2A, Hollings Worth (UK) Limited publishes annual best execution reports. These reports detail execution quality across the top five execution venues and counterparties used in each asset class.
Our best execution policy is available in full upon request. Annual RTS 28 reports are published below:
RTS 28 Report — 2023
Annual best execution report for the year ending 31 December 2023. Download PDF →
RTS 28 Report — 2022
Annual best execution report for the year ending 31 December 2022. Download PDF →
Remuneration Policy
Hollings Worth maintains a remuneration policy in compliance with AIFMD, MiFID II, and FINMA Circular 2010/1 on remuneration schemes for financial institutions. Our policy is designed to discourage excessive risk-taking and align staff incentives with client outcomes.
Variable compensation for all material risk takers is subject to deferral arrangements and malus/clawback provisions. The Remuneration Committee of the Board reviews and approves the remuneration policy annually. A summary is available upon request.
Pillar 3 Disclosures
Hollings Worth (UK) Limited publishes annual Pillar 3 disclosures in accordance with the FCA's BIPRU requirements. These disclosures provide information about our capital adequacy, risk management framework, and governance structure.
Pillar 3 Disclosure — 2023
Capital adequacy and risk disclosure for the year ending 31 December 2023. Download PDF →
Pillar 3 Disclosure — 2022
Capital adequacy and risk disclosure for the year ending 31 December 2022. Download PDF →
Complaints Procedure
We take all complaints seriously and are committed to resolving them fairly and promptly. To submit a complaint:
How to Complain
Email: support@hollingsworthstone.live
Post: Chief Compliance Officer, Hollings Worth SA,
Rue du Rh么ne 42, 1204 Geneva, Switzerland
We will acknowledge your complaint within 3 business days
and provide a final response within 8 weeks.
UK Clients: If unsatisfied with our response, you may
refer your complaint to the Financial Ombudsman Service (FOS)
at financial-ombudsman.org.uk.
DIFC Clients: Unresolved complaints may be referred to
the DFSA at dfsa.ae.
Financial Services Compensation Scheme (FSCS)
Hollings Worth (UK) Limited is covered by the Financial Services Compensation Scheme (FSCS). The FSCS can pay compensation to eligible claimants if an authorized firm is unable to meet its obligations. As Hollings Worth provides services exclusively to Professional Clients and Eligible Counterparties, most clients will not be eligible for FSCS compensation. Further information is available at fscs.org.uk.
General Disclaimer
Past performance is not a reliable indicator of future results. The value of investments and the income from them may fall as well as rise. Market volatility and algorithmic execution variables may cause the value of investments to go up or down. Investors may not recover the full amount invested. Certain derivative and synthetic instruments may be illiquid. Nothing on this Website or in any communication from Hollings Worth constitutes investment advice or a personal recommendation.